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CFP
JC
CFP

Jacob Caldwell

Founders Financial Securities, LLC
4 Years of Experience
Martinsburg, WV
BrokerSells Insurance
View SEC Summary
View SEC Summary

Jacob Caldwell is a CFP-designated registered investment advisor at Founders Financial Securities, LLC, based in Martinsburg, WV, with 4 years of industry experience. Jacob is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Annuities, Business Owners, Corporate Executives, Education Planning, and 8 more. Their firm serves 9,870 clients with $4.1B in assets under management.

Founders Financial Securities, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
117 advisors
Number of Clients
9,870 clients
Average Client Portfolio
$419K average
Assets Under Management
$4.1B

Fee Structure

Minimum Investment:$5K
Investment management only (planning not offered)
Minimum Annual Fee:$125
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $1.0M1.70%
$1M+1.40%

Fees vary by program and are negotiable. Maximum rates reach up to 2.75% depending on the specific program selected. The schedule reflects Private Wealth Solutions tiers; other programs charge flat percentage rates up to 2.75%.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

9773 Tuscarora Pike, Martinsburg, WV, 25401

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business ActivitiesSells Insurance

Jacob is an investment advisor, registered representative, and insurance agent with Morgan Financial Group, engaging in investment sales, fixed insurance and annuities, financial planning, and investment management. He also serves as a board member for Week of Compassion, dedicating minimal time to this role.

Employment History
Current Registrations
Founders Financial Securities, LLC
June 2022 - Present · 4 yrs 4 mos
Founders Financial Securities LLCBroker
June 2022 - Present · 4 yrs 4 mos
Previous Registrations
Park Avenue Securities LLC
March 2022 - May 2022 · 2 mos
Park Avenue Securities LLCBroker
February 2022 - May 2022 · 3 mos
State Registrations13 states
DEFLKYMDNCNVNYOHOKPATXVAWV
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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